- Fantastic opportunity to receive guidance and collaborate an exceptional team in a thriving organization
- Organization has extremely stable capital and is growing in assets under management
- Broad compliance generalist role with potential to take on new projects and tasks over time
- Oversee monthly compliance testing
- Conduct annual compliance reviews in both the US and UK, and any mock audits
- Update the compliance manuals and code of ethics for both the US and UK annually, and continuously as enforcement actions and regulatory matters evolve
- Review marketing materials and investor diligence requests
- Collaborate with CCO and other departments on various SEC, FCA, Cayman, and other regulatory filings
- Bachelors degree; JD not required but advantageous
- 3-6 years of compliance experience at an SEC-registered investment adviser or compliance consulting firm, and private equity exposure preferred
- Strong understanding of the SEC regulatory framework and SEC cyber and disaster recovery best practices as well as various data privacy regulations
- Desire to work in a dynamic team environment that promotes collaboration
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Compliance Officer - New York, United States - Cardea Group
Description
Compliance Officer (New York, NY): The chance to join a thriving private equity fund in a #2 capacity is here. If you are an ambitious, intelligent, and curious compliance professional seeking the mentorship of an exceptionally bright, talented, and KIND GC & CCO, please read on. Our client, a private equity firm with tremendous prospects and growth trajectory, has created a Compliance Officer position to sit in the #2 seat and offering someone the chance to engage in various areas such as compliance, governance, marketing, ESG, and deal-related affairs.
Key Points:
Responsibilities:
Qualifications:
Compensation Expectations: $120-175K base; $150-225K all-in
Job Reference #1934
